Transcript FP5 International Cooperation
European Commission Science, research and development
Towards the implementation of the next Framework Programme
The new instruments Participation rules Intellectual Property Rights Evaluation procedures
1 DG RTD A-2/09/2001
Science, research and development
“Integrating European research”
European Commission
Mainly through Networks of Excellence Integrated Projects EU participation in joint execution of national programmes
DG RTD A-2/09/2001 5
Science, research and development
Networks of Excellence (NoE)
European Commission
WHY?
In order to reinforce European scientific and technological excellence, each network aiming at ambitious advances of knowledge in the area within which it is set up
DG RTD A-2/09/2001 6
European Commission Science, research and development Networks of Excellence (NoE)
HOW ?
Through a progressive and lasting integration of existing and emerging research capacities in Europe
Pooling of a critical mass of competence and skills (“Virtual Centre of Excellence”)
Under common strategic objective
DG RTD A-2/09/2001 7
Science, research and development Networks of Excellence (NoE)
WHAT CHARACTERISTICS ?
Size : Participants from at least 3 different countries (MS or AS, min 2 MS or candidate countries) - but typically larger
Organised around core group of participants EC contribution : may attain several million Euro/year
Duration : long lasting association, beyond period of EC support European Commission
DG RTD A-2/09/2001 8
European Commission Science, research and development Networks of Excellence (NoE)
WHAT ACTIVITIES ?
“JOINT PROGRAMME OF ACTIVITIES” comprises:
Integrated R&D activities
Specific integration support activities
Spreading of excellence/competence activities
10 DG RTD A-2/09/2001
Science, research and development Networks of Excellence (NoE)
WHAT ACTIVITIES ?
Integrated R&D activities :
– – – –
Following common roadmap Pursuing joint objectives In long term perspective Often multi-disciplinary European Commission
DG RTD A-2/09/2001 11
European Commission Science, research and development Networks of Excellence (NoE)
WHAT ACTIVITIES ?
Specific integration support activities :
– – – – –
Mutual adaptation of members’ research programmes Close linkage of members by means of advanced Information and Communication Technologies Exchange of personnel (promotion of gender equality) Development/use of joint research facilities Joint management of the knowledge produced
12 DG RTD A-2/09/2001
European Commission Science, research and development Networks of Excellence (NoE)
WHAT ACTIVITIES ?
Spreading of excellence/competence :
– – –
Training of non-member organisation researchers Dissemination / transfer of knowledge Communication activities on network aims and achievements
– –
Support of technological innovation for SMEs (take-up) Analysis of relevant science and society issues
13 DG RTD A-2/09/2001
Science, research and development Networks of Excellence (NoE)
SELECTION
Periodic calls for Proposals, in certain cases preceded by calls for Expression of Interest
Evaluation based on “Peer-Review” principle European Commission
DG RTD A-2/09/2001 14
European Commission Science, research and development Networks of Excellence (NoE)
FUNDING
EC contribution:
A grant to support integration
Amount determined at the outset as a function of the value of the research capacities being integrated
Additional to member “own” funding
Annual advance payments based on: previous year activity report and members’ resource utilisation report certified by independent auditors of own choice + detailed joint programme of activities for the following year
15 DG RTD A-2/09/2001
European Commission Science, research and development Networks of Excellence (NoE)
IMPLEMENTATION
Increased flexibility and autonomy regarding:
Internal organization
Evolution of initial partnership (open calls, transparency, objective and fair evaluation)
Adjustment/modification of joint programme of activities according to evolving needs
Allocation of EC contribution among activities and/or participants
DG RTD A-2/09/2001 17
European Commission Science, research and development
Integrated Projects (IP) WHY?
In order to obtain results with significant and direct impact on European industrial competitiveness and/or
In order to contribute to solving important societal/global problems
19 DG RTD A-2/09/2001
European Commission Science, research and development
Integrated Projects (IP) HOW ?
By mobilising a critical mass of resources and skills in the context of a new research actions
So as to attain, within a specified time frame, clearly defined objectives, in terms of scientific and technological knowledge and/or results applicable to products, processes, services or policy issues
DG RTD A-2/09/2001 20
European Commission Science, research and development
Integrated Projects (IP) WHAT CHARACTERISTICS ?
Size : Participants from at least 3 different countries (MS or AS, min 2 MS or candidate countries) - but typically larger
EC contribution : may attain several million Euro/year
Duration : Fixed according to needs of project Structure and organisation :
–
Partners with key role and global responsibility
– –
Partners contributing to specific activities Integration of all activities in a coherent whole either as single project with distinct work packages or as a “backbone” project with associated sub-projects
DG RTD A-2/09/2001 21
European Commission Science, research and development
Integrated Projects (IP) WHAT ACTIVITIES ?
IN THE FORM OF AN EXECUTION PLAN :
Research and technological development and demonstration (often multidisciplinary, clearly defined and precise objectives)
Management, dissemination and transfer of knowledge
Analysis and evaluation of technologies
Training
Take up actions in particular for SMEs
Information and communication activities (including science and society issues)
23 DG RTD A-2/09/2001
European Commission Science, research and development
Integrated Projects (IP) SELECTION
Periodic calls for Proposals, in certain cases preceded by calls for Expression of Interest
Evaluation based on “Peer-Review” principle, adapted to scale and scope of the project
DG RTD A-2/09/2001 24
European Commission Science, research and development
Integrated Projects (IP) FUNDING
EC contribution:
In the form of a grant to the project budget
EC contribution calculated at the outset on the basis of a provisional budget
Ceiling : up to max. 50% of the total budget
Payments, in form of yearly advances based on previous year activity report and financial report certified by independent auditors of participants’ choice + the detailed “execution plan” and budget for the following year
25 DG RTD A-2/09/2001
European Commission Science, research and development
Integrated Projects (IP) IMPLEMENTATION
Increased flexibility and autonomy regarding:
Internal organization
Evolution of initial partnership (open calls, transparency, objective and fair evaluation)
Adjustment/modification of joint program of activities according to evolving needs
Allocation of EC contribution among activities and/or participants
DG RTD A-2/09/2001 27
Science, research and development
Coordination and Article 169
European Commission
WHY?
Over 80% of publicly funded research in Europe is conducted at national level
Little co-ordination among national programmes, and among national, European and Community programmes
ERA requires real partnership of all research policy actors
DG RTD A-2/09/2001 29
Science, research and development
Coordination and Article 169
European Commission
HOW ?
“ Open co ordination method” (Lisbon)
Proposed new FP contributes to this objective through
–
Actions foreseen under the heading “Co-ordination of research activities”
–
Article 169 mechanism in support of joint implementation of programmes
DG RTD A-2/09/2001 30
European Commission Science, research and development
Coordination and Article 169
WHAT CAN WE EXPECT TO ACHIEVE ?
Boost the scale of financial and human resources mobilised
A better overall allocation of resources;
Enhance cohesion and complementarity among national and European programmes
Accelerate pace of production of results
Pave the way toward a European research policy
31 DG RTD A-2/09/2001
Science, research and development
FP6 Participation Rules
European Commission
Three principles:
Opening of projects to new participants Flexibility in operational conditions, including procedures for launching new activities Great autonomy in project implementation 35 DG RTD A-2/09/2001
European Commission Science, research and development
FP6 Participation Rules
New features:
Exactly same rights and obligations for MS and candidate AS For CERN, ESA, ESO… same conditions as for MS institutions Third country participants are fully entitled to participate in the bulk of the FP. Organisations eligible to take part in specific international cooperation actions are entitled to receive funding (NIS, Mediterranean and developing countries) Community financial contribution in new forms (grants for integration, grants to budget), with essentially ex-post controls Consortia can change partnership, including through competitive calls 36 DG RTD A-2/09/2001
European Commission Science, research and development
FP6 Participation Rules
Minimum consortia
To be specified in the work programmes according to the nature of instruments and RTD activities Absolute minima: for NoE and IP: 3 independent legal entities from 3 different MS or AS, of which at least 2 from MS or candidate AS for specific targeted projects: 2 independent legal entities from different MS or AS, of which at least one from a MS or candidate AS European Economic Interest Groups (EEIG) or other legal entities made up of independent legal entities may act as single participants if their composition is in accordance with the above rules.
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European Commission Science, research and development
FP6 Participation Rules
Changes in consortium membership
For all instruments
: modification of membership is possible within the limits of the initial Community financial contribution and with agreement by the Commission
For NoE, IP
: changes in membership requiring publication of a competitive call shall be specified in advance in the programme of activities/execution plan. Wide advertising and independent evaluation is required DG RTD A-2/09/2001 39
Science, research and development
FP6 Participation Rules
New IPR rules
Established and well functioning principles are kept, e.g.:
Participants
generated.
will
own results
they have Emphasis on
use
of results. Dissemination if appropriate or if results are not used.
SMEs
will activities .
own results
generated in SME-
European Commission
DG RTD A-2/09/2001 40
European Commission Science, research and development
FP6 Participation Rules
New IPR rules
main changes
with regard to FP 5: (1/2)
Simplified System of access rights
(ARs) by
giving up
distinction between
different types of participants reducing
the number of AR granting
conditions
free, favourable conditions, market conditions). and by (FP5: royalty Obligatory
ARs reduced
to assure protection of participants’ intellectual property and make exploitation of results economically attractive.
Exclusion of pre-existing know-how
from the obligation to grant access possible (written agreement) .
DG RTD A-2/09/2001 41
European Commission Science, research and development
FP6 Participation Rules
New IPR rules
main changes
with regard to FP 5: (2/2)
No
more obligatory
ARs to project results only
needs access to another participant’s knowledge
own knowledge
.
ARs to project results between projects
if the demanding participant
to use its
DG RTD A-2/09/2001 42
European Commission Science, research and development
FP6 Participation Rules
Basic evaluation criteria
(a) (b) (c) (d) (e) Relevance to the objectives of the specific programme Scientific and technological excellence Community added value Quality of plan for use and/or dissemination of knowledge, potential for innovation and ability to manage intellectual property Resources, competences, organisation 43 DG RTD A-2/09/2001
European Commission Science, research and development
FP6 Participation Rules
Basic evaluation criteria
In addition to (c):
For NoE
: scope and degree of effort to achieve integration, capacity of the network to promote excellence beyond its membership, prospects for long term integration
For IP
: scale of ambition of the objectives, capacity to make a significant contribution to reinforcing competitiveness or solving societal problems
For integrated infrastructure initiatives
: prospects for long-term continuation after the end of the Community financing 44 DG RTD A-2/09/2001
Science, research and development
FP6 Participation Rules
European Commission
Appointment of independent evaluators
calls for applications from individuals suggestions from research organisations individual appointments DG RTD A-2/09/2001 45
European Commission Science, research and development
FP6: Evaluation of Proposals
Improved evaluation system
Established and well functioning principles are kept, e.g.: peer review by
experts independent external common
Evaluation Manual principles of quality, transparency, equality of treatment, impartiality, efficiency and speed DG RTD A-2/09/2001 46
European Commission Science, research and development
FP6: Evaluation of Proposals
main changes
with regard to FP 5: • • •
Simplification of procedures:
procedures described in common Evaluation manual; criteria described in specific work programmes
Transparency of selection of evaluators
: combining the open call for experts and suggestions from other bodies, including the MS
Flexibility in accordance with new instruments:
including possibility of
multiple stages
for proposal submission and proposal evaluation 47 DG RTD A-2/09/2001
Science, research and development
FP6: Evaluation of Proposals
European Commission
A broad debate
Invitation to discuss with the MS, AS and the broader research community on ways of improving the proposal evaluation process DG RTD A-2/09/2001 48